Compliance Team of the Year - Financial Services

Compliance Team of the Year - Financial Services
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How to apply

  1. Register an account.
  2. Start your entry (save it in-progress).
  3. Submit your entry to be in the running.

Best of luck!

For any questions, please contact Ryan Bessent or 020 7608 9045.
Download entry guide

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This award recognises a team working specifically within a financial services organisation, that has supported and enabled the organisation to conduct its business in compliance with all national and international laws and regulations. This is a generalist or specialist team that demonstrates exemplary professional standards and has created a culture of compliance within the business.  

Judges will be looking for how the team has responded to external and internal challenges in the last 12-18 months ahead of the entry deadline, with evidence to support how they’ve strengthened compliance within their organisation, elevated the compliance profession, or supported the creation of best practice standards across the broader compliance community.  

Eligibility

  • This award is open to all internal compliance teams working in the financial services sector.   
  • Entries must demonstrate evidence from the last 12-18 months, up to the awards entry deadline.  
  • We welcome entries from teams operating within Europe.

Spirit

  • Please describe the team, its size and scope of responsibilities. 
  • Please provide a brief overview of the structure and complexities (size, sectors, multiple firms, appointed representatives…) within the business the team operates within. 
  • What has been the business and regulatory context within which the team has been operating?  
  • Please describe the ambition and goal for the team over the last year. 
  • What were the drivers for improvement, restructure or change? 
  • Please share any other contextual information that will help judges understand the challenges the team has had to respond in the last 12-18 months. 

Approach

Please provide relevant detail to support your entry including:

  • How did the compliance team support the business needs over the last year, how has it had to flex, adapt and innovate to deliver excellence?
  • How has the team collaborated with the business and other stakeholders?
  • What was the approach to recruitment, people development and retention over the past 12-18 months and how did this contribute to the team’s success?
  • In what ways has this team been committed to creating a culture of compliance in the business?
  • Please share any specific methodology, leadership approach or strategy that was employed.
  • How has technology been employed to help team achieve its goals over the past 12-18 months?
  • How did the team surpass expectations, go over and above?

Outcome

  • What were the results for the team over the last year?
  • Please share any qualitative and quantitative metrics to validate your credentials as Team of the Year.
  • How did the team change / deliver against its ambition and goals?
  • How have the compliance team strengthened good outcomes and/or improved experience for customers?
  • How has the team delivered its outcomes within resource constraints and delivered value for the business?

Endorsement

  • Judges would be interested to read up to 3 testimonials in support of your submission, from wider business partners and other stakeholders who can verify the success of the team in the last 12-18 months. Please keep testimonials to max 100 words.
  • If the changes implemented by this team have led to wider adoption of best practice or frameworks across the business, or industry please share relevant details.

Compliance Team of the Year - Financial Services

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To find out more

For information about the awards, nominations and how to attend, contact delegate@int-comp.org.